MOHR Talent · 9 hours ago
Compliance Associate – Supervision Track
Austin, TX
Full-time
Hybrid
Entry Level
$62K/yr - $65K/yr
1+ years expMOHR Talent is a leading independent financial services firm that supports financial advisors and their clients nationwide. They are seeking a Compliance Associate to join their Supervision Division, focusing on ensuring that advisors and the firm meet regulatory and ethical standards while providing support for supervision and reporting tasks.
Staffing & Recruiting
Responsibilities
Support the Supervision team with daily oversight, documentation, and compliance tasks
Review advisor email communications through the Smarsh platform and help manage user access and billing
Track and update supervision review queues, troubleshoot issues, and generate review reports
Assist with administrative reviews like gifts and gratuities logs, check/securities blotters, and client report validations
Maintain department metrics, audit logs, and quarterly oversight reports
Collaborate with Compliance, Legal, and Technology teams to resolve data and reporting requests
Participate in departmental testing and improvement projects
Qualification
Required
1+ year of experience in financial services, operations, or compliance
Proficiency in Microsoft Excel (formulas, data tracking, and reporting)
Comfortable with technology and learning new compliance tools
Strong attention to detail, organization, and communication
Team-player mindset with a desire to grow into a leadership path in supervision
Preferred
Bachelor's degree in Finance, Business, or related field
SIE or Series 7 preferred (or willingness to obtain – firm will sponsor)
Benefits
Full Benefits
401(k)
Health, vision, dental, 401(k), and optional plans
Company
MOHR Talent
MOHR Talent is your partner in people, progress, and possibility.
11-50 employees
Funding
Current Stage
Early StageCompany data provided by crunchbase